Securities: Compliance Associate - Los Angeles, United States - B. Riley Financial

B. Riley Financial

Verified Company

Los Angeles, United States

2 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

Compliance Associate

B. Riley Securities, Inc.
B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services.

Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization.

B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. B. Riley Securities formerly operated as B. Riley FBR following the merger of B. Riley & Co. and FBR & Co.

We are seeking a full-time Compliance Associate to work in our Memphis, Chicago, Arlington, Boca Raton or Los Angeles office.

The base salary for this position is $66,560.

Duties of this position include, but are not limited to the following:

Assist with daily trade review and surveillance.
Maintain and update Firm's Restricted and Watch List.
Review and preclear employee personal trade requests.
Conduct enhanced due diligence on new clients.
Prepare written correspondence to regulatory inquiries.
Support in the various testing of supervisory policies and procedures.
Prepare, organize, and file requisite documentation.
Perform other duties as assigned.

Education, Experience and Skills required:

Bachelor's degree in Finance, Business, or Economics preferred.
One to five years of experience in the brokerage industry and/or previous Compliance experience.
Securities Industry Essentials (SIE), and Series 7 preferred but training is available.
Knowledge of capital markets or asset management industry.
Excellent communication skills required.
Attention to detail, comfortable working effectively under pressure in a rapidly changing environment.
Strong competency in utilizing MS Word, Excel, PowerPoint and Outlook.
Ability to organize and prioritize work without supervision.
Self-starter with willingness to learn and adapt to new and challenging tasks.

B. Riley Financial, Inc.

employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.